INITIAL MEETING:
Please bring the following items to your first meeting:
If you are currently working:
 Most recent tax return |
Old 401(k) statements |
| Cost basis of all assets, stocks, bonds, and real estate |
In-force insurance policies and annuity contracts (most recent statements) |
| Trust documents |
Debt information (balances and interest rates) |
| Social Security estimated benefits report |
Current annual expenditures (list below) |
| Previous financial advisor statements |
Current Investment Statements |
| Contributions to and employer retirement plan (percentage you are contributing and percentage your employer is contributing) |
|
| Total Income |
$______________ |
| Less Yearly Savings |
$______________ |
|
|
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| Estimated annual expenditures during retirement |
|
If you are currently retired:
| Most recent tax return |
Old 401(k) statements from previous employers |
| Cost basis of all assets: stocks, bonds, real estate, etc |
Current investment statments |
| Social Security benefit amount |
Trust documents |
| Debt information (balances and interest rates) |
In-force insurance policies and annuity contracts (most recent statements) |
| Total annual expenditures (please use the work sheet below) |
Previous financial advisor statements |
| Total Income |
$______________ |
| Less Yearly Savings |
$______________ |
| Total Annual Expenditures $______________ (Please be sure to include all living expenses, taxes, vacations, and miscellaneous expenses) |
|
We graciously accept new clients.
SECURITIES OFFERED THROUGH STIFEL:
 Annuities - Variable, Immediate, and Fixed |
Asset Allocation |
| Cash Management (Stifel Prestige® and Prestige Plus Accounts) |
College Planning |
| Check Writing | 529 College Savings Plans |
| Debit MasterCard® | Education Savings Account |
| Bill Payment Services | Common Stocks |
| Stifel @ccess (Online account access) | Consulting Services (Advisory-Based Programs) |
| Financial Planning |
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| Fixed Income Investments |
Insurance |
| Certificates of Deposit | Disability Insurance |
| Corporate Bonds | Life Insurance (Individual and Business Applications) |
| Government and Agency Securities | Long-Term Care |
| Municipal Bonds | IRAs –Traditional and Roth |
| Managed Money – Fundamentals, Horizon, Separately Managed Account |
Mutual Funds |
| Options |
Preferred Stocks |
| Qualified Plans |
Research |
| 401(k) Plans | Retirement Planning |
| Profit Sharing Plans | Trust and Estate Planning |
| Money Purchase Plans | Unit Investment Trusts |
| SEP IRAs | |
| SIMPLE IRAs | |
| Defined Benefit Plans |